Standards of Conduct (18 CFR Part 358)

Compliance Measures

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Definition

A transmission provider must implement measures to ensure that §§ 358.5 (independent functioning) and 358.6 (no conduit) are observed by its employees and by employees of its affiliates. These measures may include training, monitoring, physical separation, and compliance audits.

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Topic Deck

Standards of Conduct (18 CFR Part 358)

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Source

18 CFR Part 358

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Related Terms in Standards of Conduct (18 CFR Part 358)

Affiliate (Part 358)

For Part 358, affiliate means another person that controls, is controlled by, or is...

Affiliate Identification Posting

A transmission provider must post on its Internet Web site the names and addresses of...

Annual Standards of Conduct Training

A transmission provider must provide annual training on the Standards of Conduct to...

Books and Records Separation

A transmission provider must maintain its books of account and records (as prescribed...

CEII Disclosure Notice

If a transmission provider discloses, in violation of § 358.6, non-public transmission...

Chief Compliance Officer

A transmission provider must designate a chief compliance officer responsible for...
View all 52 terms in Standards of Conduct (18 CFR Part 358) →